Overview
A boutique succession planning consulting firm specializing in financial advisors and small business owners is seeking an In-House Legal Counsel. The firm provides valuation services, acquisition support, contingency planning, and personalized succession strategies nationwide. This role offers an opportunity to support legal aspects of transactions and client engagements within a fast-growing environment.
Responsibilities
- Draft and review corporate and securities-related contracts, including governance documents, contingency agreements, employment agreements, and purchase agreements.
- Customize legal language to address client-specific needs, risk factors, and transaction structures.
- Ensure compliance with applicable laws, regulations, and internal standards.
- Collaborate closely with project teams to support client engagements and develop legally sound, tailored solutions.
- Oversee daily legal workflows and provide guidance to a paralegal to ensure accuracy and efficiency.
- Maintain alignment between legal, project teams, and service delivery.
- Monitor compliance with securities laws, regulations, and industry standards.
- Stay updated on developments in securities and corporate law and provide proactive guidance.
- Support internal compliance frameworks and best practices.
- Advise on securities transactions, disclosures, reporting, and regulatory matters.
- Manage relationships with regulatory bodies and respond to inquiries as needed.
- Identify and mitigate legal risks related to business activities and client engagements.
- Advise on transaction structures and client recommendations to balance legal protection with business goals.
- Coordinate with external counsel to minimize legal exposure and business disruption.
- Oversee corporate governance practices, policies, and documentation.
- Provide advice on entity structure, equity arrangements, and governance best practices.
- Develop and deliver training on legal, regulatory, and compliance topics.
- Promote and enforce ethical standards across the organization.
- Represent the firm at industry events, trade shows, and partner engagements.
- Present at internal and external webinars to contribute to thought leadership.
Requirements
- Juris Doctor (JD) degree and active bar membership in the United States.
- Typically 6+ years of experience in corporate or transactional law, with exposure to financial services or securities-related matters.
- Strong background in corporate law, mergers and acquisitions, succession planning, employment law, equity sharing, and business formation.
- Experience overseeing legal workflows and supporting junior staff.
- Excellent analytical, communication, and leadership skills.
Preferred Skills
- Ability to adapt and thrive in a dynamic business environment.
- Strong problem-solving skills and results-oriented mindset.
- Working knowledge of securities law and corporate law.
- Proficient verbal and written communication.
- Experience utilizing AI-driven technologies to streamline legal processes and improve deliverable accuracy.
Compensation & Benefits
- Salary range: $140,000 - $170,000 per year.
- Remote position within the United States.
Location